RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
D•••• M•••••• G•••••
- O••••••••• • C•• I••• BD affiliated currentsince Oct 9, 2024 · Newport Beach, Ca
- C•••••••• F••••••••• I••• BD affiliatedSep 15, 2010 to Aug 27, 2024 · Anaheim, Ca
- W••• I••••••••• I••• unclassifiedAug 30, 2006 to May 6, 2009 · Irvine, Ca
- S•••••••• A••••••• L•• national BDAug 12, 2003 to Apr 13, 2004 · Brea, Ca
- C•••••••• F••••••••• I••• to O••••••••• • C•• I•••left Aug 27, 2024, registered Oct 9, 2024 (43 days) · Affiliated broker-dealer or bank to another
- W••• I••••••••• I••• to C•••••••• F••••••••• I•••left May 6, 2009, registered Sep 15, 2010 (497 days) · Other
- S•••••••• A••••••• L•• to W••• I••••••••• I•••left Apr 13, 2004, registered Aug 30, 2006 (869 days) · Other
- D•••• M•••••• G••••• left C•••••••• F••••••••• I••• for O••••••••• • C•• I••• (registered 2024-10-09)Aug 27, 2024 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address